Financial Markets Authority - Latest News [Page 1]

Director sentenced to community service for abuse of FSPR

Tuesday, 16 April 2019, 11:38 am | Financial Markets Authority

A New Zealand-based director of Morgan DeVere Corporate Finance Limited has been sentenced to 75 hours of community service for breaching the Financial Service Providers (Registration and Dispute Resolution) Act 2008. (FSP Act). The FMA alleges that the ... More >>

FMA files civil proceedings over trading in Oceania Natural

Monday, 15 April 2019, 4:58 pm | Financial Markets Authority

The Financial Markets Authority (FMA) has issued civil proceedings in the High Court against four individuals in relation to trading in Oceania Natural Limited. (ONL) The proceedings relate to alleged breaches of market manipulation prohibitions and ... More >>

Statement on Supreme Court judgment on ANZ v FMA

Friday, 12 April 2019, 12:22 pm | Financial Markets Authority

The FMA is pleased with the Supreme Court decision in the matter between ANZ and the FMA, released this morning. More >>

Former CFO to pay $150,000, barred for SMA breaches

Tuesday, 9 April 2019, 3:03 pm | Financial Markets Authority

Mark Stephen Talbot, a former virtual chief financial officer of VMob (now Plexure) will pay $150,000 in lieu of a penalty and is barred from acting as a director or manager of a listed business for 5 years. Mr Talbot has admitted to insider trading ... More >>

AML/CFT monitoring report highlights concerns, sets focus

Monday, 1 April 2019, 10:13 am | Financial Markets Authority

The Financial Markets Authority (FMA) has published an Anti-Money Laundering and Countering the financing of terrorism (AML/CFT) monitoring report setting out the areas requiring further attention by the management and boards of the reporting entities ... More >>

FADC Findings published

Friday, 29 March 2019, 2:26 pm | Financial Markets Authority

The Financial Advisers Disciplinary Committee (FADC) has published its findings in a case referred to the Committee by the FMA. A copy of the findings can be found here . The FMA encourages all Authorised Financial Advisers to read and consider ... More >>

Professional Conduct Committee Findings

Thursday, 28 March 2019, 10:38 am | Financial Markets Authority

Professional Conduct Committee of Chartered Accountants Australia New Zealand - findings More >>

Trio sentenced for theft, false statement by a promoter

Wednesday, 27 March 2019, 3:02 pm | Financial Markets Authority

Trio sentenced for theft, false statement by a promoter in Viaduct Capital & Mutual Finance case More >>

FMA publishes guide to shares for investors

Tuesday, 26 March 2019, 10:10 am | Financial Markets Authority

The FMA has published a guide for investors on the nuts and bolts of choosing, buying, owning and selling shares. More >>

Appeal court judgment in ANZ v FMA

Tuesday, 5 March 2019, 2:01 pm | Financial Markets Authority

The court of Appeal has allowed an appeal by the FMA in the matter of ANZ Bank New Zealand (ANZ) v Financial Markets Authority (FMA) More >>

ASX 24 derivatives market review

Friday, 1 March 2019, 11:51 am | Financial Markets Authority

The FMA has today published the findings of its obligations review of the ASX 24 derivatives market. More >>

The ingredients for successful KiwiSaver communications

Wednesday, 27 February 2019, 10:10 am | Financial Markets Authority

The results of a second FMA, MBIE and industry trial demonstrates using communications based on behavioural insights encourages KiwiSaver members to make an active choice about their investment. The report, “ Using behavioural insights to improve KiwiSaver ... More >>

South & Provan jailed for 4 years and 6 months

Monday, 25 February 2019, 1:12 pm | Financial Markets Authority

Two men have both been sentenced to four years and six months in prison at Tauranga District Court on charges brought by the Financial Markets Authority (FMA). More >>

Two men convicted on Crimes Act charges

Tuesday, 18 December 2018, 2:15 pm | Financial Markets Authority

Two men have been found guilty at Tauranga District Court on charges filed by the Financial Markets Authority (FMA). More >>

Explaining fees and products key for consumers

Monday, 17 December 2018, 10:11 am | Financial Markets Authority

Consumers want their financial providers to do more to explain fees and help them understand why their products are right for them. This is according to The Financial Markets Authority (FMA) survey into consumers’ experience of providers’ conduct, ... More >>

Accredited Body Reports Published

Wednesday, 5 December 2018, 12:30 pm | Financial Markets Authority

The Financial Markets Authority (FMA) has today published the accredited body reports for the New Zealand Institute of Chartered Accountants (NZICA) and CPA Australia. More >>

FMA reports on Wynyard investigation

Friday, 30 November 2018, 1:03 pm | Financial Markets Authority

The Financial Markets Authority (FMA) today published the findings of its investigation into Wynyard Group Limited’s (Wynyard) compliance with continuous disclosure and fair dealing obligations. Following Wynyard’s failure in October 2016, the FMA ... More >>

Public warning –Brian (John) Ferguson

Wednesday, 28 November 2018, 10:38 am | Financial Markets Authority

The Financial Markets Authority (FMA) has issued a public warning about Brian Ferguson, a registered financial adviser from Palmerston North. More >>

FMA publishes 2018 Audit Quality Report & Directors’ Guide

Monday, 26 November 2018, 12:41 pm | Financial Markets Authority

The Financial Markets Authority’s Audit Quality Report 2018 expresses concern at the continued inconsistencies in audits provided by the same firm, while noting the overall quality of audits has improved in recent years. More >>

Peer-to-peer lending/crowdfunding 2018 data published

Friday, 23 November 2018, 1:04 pm | Financial Markets Authority

The Financial Markets Authority (FMA) today published its second statistical report on peer to peer lending and crowd funding in New Zealand. The industry is required to submit an annual information return each year. More >>

 

 

InfoPages Links

 
 
 
 
 

LATEST HEADLINES

  • PARLIAMENT
  • POLITICS
  • REGIONAL